DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
P••••••••• F•••••••• G••••• I•••
Latest filing Oct 28, 2025
First filing on the tape Jun 30, 2015 · 38 filings
SEC status approved since Jul 14, 2015
RAUM
$359M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$357M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$359M as of Oct 28, 2025
Mar 15, 2016$103M then
HNW client RAUM$193M as of Oct 28, 2025
Mar 23, 2020$40.0M then
State-registered IARs (5.B.3)9 as of Oct 28, 2025
Mar 15, 20162 then
Employees (5.A)11 as of Oct 28, 2025
Mar 15, 20166 then
Private funds: no history
RAUM +37% over the last fiscal year+14% a year over threeIARs 9 to 9offices 2 to 1
Practice profile
derived from the filing of Oct 28, 2025; every figure names its basis
- RAUM per advisor
- $39.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $354,389derivedHNW RAUM over HNW clients
- Average account
- $298,558derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -41%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $82.0M, 273 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$193M54%
- Individuals$164M46%
- Pension and profit-sharing plans$1.6M0.4%
- Charitable organizations$28,8920.0%
- Individual clients
- 102reported
- HNW clients
- 545reported
- Pension plan clients
- 8reported
- Charitable clients
- 1reported
- Accounts
- 1,202reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.0M for 273 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- E••••• H•••••• K••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 24, 2025 · Other
- D••••• L•• K•••• to T••••••••• C•••••• L••Dec 31, 2023 · RIA to RIA
- M•••••• P•••••• K••••••• to D•••• I••••••••• M••••••••• L••Nov 1, 2019 · RIA to RIA
- M••••••• C•••• C••••••• to F•••••• F•••••••• A•••••••• L••Aug 2, 2019 · RIA to a newly registered adviser
- R••••• C••••••• L•••••• to F•••••• F•••••••• A•••••••• L••Aug 2, 2019 · RIA to a newly registered adviser
- W•••••• M••• T•••••• to E••••• W•••••• L••Sep 27, 2018 · RIA to RIA
- S•••••• H••••• H••••• to E••••• W•••••• L••Jun 16, 2016 · Other
Joined, latest
- A••••• J••••• A••••• from F•••• T•••• A••••••• L•Oct 3, 2025 · Other
- M••••• A•••••••• T•••••• from C••••• I••••••••• A••••••• L••Dec 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• D•••• H••••• from I•••••• W••••• S••••••••• L••Apr 30, 2021 · RIA to RIA
- W•••••• M••• T•••••• from W•••• A••••••• S•••••••Sep 20, 2018 · Other
- A•••• S••• from E••••• W•••••• L••Jul 27, 2018 · Other
- M••••••• C•••• C••••••• from A••••••••• F•••••••• S•••••••• L••Jul 19, 2017 · Other
- R••••• C••••••• L•••••• from A••••••••• F•••••••• S•••••••• L••Jun 21, 2017 · Other
- D••••• L•• K•••• from W•••• E••••• G••••• I•••Nov 11, 2016 · Other
- E••••• C•••••• P••• from J••• M••••• S••••••••• L••Aug 8, 2016 · Other
- S•••••• H••••• H••••• from S••••• A••••••• I•••Jun 16, 2016 · Other
- J•••• G•••••••• H••••••• from A••••••••• F•••••••• S•••••••• L••Apr 8, 2015 · Other
- M•••••• P•••••• K••••••• from F•• S••••••••• C•••••••••Dec 9, 2014 · Other
- C•••• B••••••••• D••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 1, 2010 · Other
- E••••• H•••••• K••••• from R•••••• J•••• F•••••••• S•••••••• I•••Feb 29, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for P••••••••• F•••••••• G••••• I•••Dec 24, 2025 · San Ramon, Ca · Firm absorbed
- 2 left for F•••••• F•••••••• A•••••••• L••Aug 2, 2019 · Santa Clara, Ca
- 2 joined from A••••••••• F•••••••• S•••••••• L••Jun 19, 2017 · Campbell, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• E•••••• H•••••• · President & Chief Compliance Officercontrolsince 03/2000 · owns 75% or more
Related persons
Schedule D 7.A
- E••••• W•••••• L••investment advisernRAUM $484M
Advisers that list P••••••••• F•••••••• G••••• I••• as a related person
- 174328 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Arroyo Grande, Ca | 0 | 0 | 0 | ||
| San Ramon, Ca · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Arroyo Grande, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 28, 2025 to Oct 28, 2025
- Accounts · 1,109 to 1,202Mar 29, 2024 to Mar 27, 2025
- Advisory activities · 4 to 5Mar 29, 2024 to Mar 27, 2025
- BD registered reps · 5 to 4Mar 29, 2024 to Mar 27, 2025
- HNW clients · 98 to 545Mar 29, 2024 to Mar 27, 2025
- Individual clients · 997 to 102Mar 29, 2024 to Mar 27, 2025
- Pension plan clients · 13 to 8Mar 29, 2024 to Mar 27, 2025
- Assets in custody · $96.7M to $82.0MMar 29, 2024 to Mar 27, 2025
- Employees · 9 to 11Mar 29, 2024 to Mar 27, 2025
- Other offices · 2 to 1Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $262M to $359MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $128M to $193MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $132M to $164MMar 29, 2024 to Mar 27, 2025
- Pension RAUM · $1.6M to $1.6MMar 29, 2024 to Mar 27, 2025
- RAUM · $262M to $359MMar 29, 2024 to Mar 27, 2025
- Accounts · 1,100 to 1,109Jul 11, 2023 to Mar 29, 2024
- Advisory employees · 8 to 9Jul 11, 2023 to Mar 29, 2024
- Advisory activities · 3 to 4Jul 11, 2023 to Mar 29, 2024
- BD registered reps · 4 to 5Jul 11, 2023 to Mar 29, 2024
- Charity clients · 2 to 1Jul 11, 2023 to Mar 29, 2024
- HNW clients · 61 to 98Jul 11, 2023 to Mar 29, 2024
- Individual clients · 1,030 to 997Jul 11, 2023 to Mar 29, 2024
- Pension plan clients · 7 to 13Jul 11, 2023 to Mar 29, 2024
- Assets in custody · $1.8M to $96.7MJul 11, 2023 to Mar 29, 2024
- Employees · 8 to 9Jul 11, 2023 to Mar 29, 2024
- Financial planning clients · 1-10 to 0Jul 11, 2023 to Mar 29, 2024
- State-registered IARs · 8 to 9Jul 11, 2023 to Mar 29, 2024
- Discretionary RAUM · $213M to $262MJul 11, 2023 to Mar 29, 2024
- HNW RAUM · $77.4M to $128MJul 11, 2023 to Mar 29, 2024
- Individual RAUM · $134M to $132MJul 11, 2023 to Mar 29, 2024
- Pension RAUM · $1.3M to $1.6MJul 11, 2023 to Mar 29, 2024
- RAUM · $213M to $262MJul 11, 2023 to Mar 29, 2024
- Accounts · 1,109 to 1,100Mar 17, 2023 to Mar 31, 2023
- Advisory employees · 9 to 8Mar 17, 2023 to Mar 31, 2023
- Charity clients · unset to 2.0Mar 17, 2023 to Mar 31, 2023
- HNW clients · 83 to 61Mar 17, 2023 to Mar 31, 2023
- Individual clients · 1,026 to 1,030Mar 17, 2023 to Mar 31, 2023
- Pension plan clients · unset to 7.0Mar 17, 2023 to Mar 31, 2023
- Employees · 11 to 8Mar 17, 2023 to Mar 31, 2023
- Insurance-licensed employees · 1 to 0Mar 17, 2023 to Mar 31, 2023
Signals
5 dated events
- P••••••••• F•••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $358.9M)Jan 2, 2026 · Left the SEC roster · derived
- E••••• H•••••• K••••• left P••••••••• F•••••••• G••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2009-01-02)Dec 24, 2025 · Advisor changed firm · fact
- P••••••••• F•••••••• G••••• I•••'s advisors moved to P••••••••• F•••••••• G••••• I••• (San Ramon, CA): 7 of 8 registered, on the same dayDec 24, 2025 · Firm absorbed (people side) · derived
- D••••• L•• K•••• left P••••••••• F•••••••• G••••• I••• for T••••••••• C•••••• L•• (registered 2024-01-03)Dec 31, 2023 · Advisor changed firm · fact
- P••••••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Jun 30, 2015 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026